Does resigning from a B/D firm tarnish a newly registered RIA's career opportunites?

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Jan 31, 2013 6:25 pm


I have recently completed my S7 & S66.  I have paid my FINRA fees and have I have been approved.  The fees at the Broker/Dealer firm I am registered are high and they are focused to Insurance and Annuites.  I would like to be with a full wirehouse and even possibly get into a training program that has a base salary or draw as I ramp up.  Will having a U5 hurt my chances getting on with a good wealth management firm?